BEAM INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-10-31: Reporting owner Shattock Matthew J; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-10-31: Reporting owner Baladi Albert; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-10-31: Reporting owner Baldock Philip A; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-10-31: Reporting owner Newlands William A; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-10-31 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,074 52,146 owned after | $0.00 | 2013-11-04 | |
| 2013-10-31 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,587 11,173 owned after | $0.00 | 2013-11-04 | |
| 2013-10-31 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,587 11,173 owned after | $0.00 | 2013-11-04 | |
| 2013-10-31 | Newlands William A Officer (SVP & President, NA) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,450 14,900 owned after | $0.00 | 2013-11-04 | |
| 2013-10-04 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,074 6,146 owned after | $0.00 | 2013-10-08 | |
| 2013-10-04 | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −857 1,713 owned after | $0.00 | 2013-10-08 | |
| 2013-10-04 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,074 6,146 owned after | $0.00 | 2013-10-08 | |
| 2013-10-04 | George Kevin B Officer (SVP & Chief Marketing Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,587 11,173 owned after | $0.00 | 2013-10-08 | |
| 2013-10-04 | Mackenzie Mindy Officer (SVP & Chief HR Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,074 6,146 owned after | $0.00 | 2013-10-08 | |
| 2013-10-04 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,450 14,900 owned after | $0.00 | 2013-10-08 | |
| 2013-09-18 | Owen John F Officer (SVP Chief Supply Chain Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,989 2,989 owned after | $0.00 | 2013-09-20 | |
| 2013-07-30 | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,339 2,339 owned after | $0.00 | 2013-08-01 | |
| 2013-02-21 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,502 17,502 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,954 1,954 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Probst Robert F Officer (SVP & Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,617 5,617 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Newlands William A Officer (SVP & President, NA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,617 5,617 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Baladi Albert Officer (SVP & President, EMEA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,152 4,152 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Baldock Philip A Officer (SVP & President, APSA) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,908 3,908 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Mackenzie Mindy Officer (SVP & Chief HR Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,175 3,175 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Fink Nicholas I. Officer (SVP, Chief Strategy Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,198 2,198 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Rose Kenton R Officer (SVP & GC, CAO & Secretary) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,175 3,175 owned after | $0.00 | 2013-02-25 | |
| 2013-02-21 | Mierzwicki Leo A Officer (VP & Corporate Controller) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,221 1,221 owned after | $0.00 | 2013-02-25 | |
| 2013-02-05 | Shattock Matthew J Director, Officer (President & CEO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,023 0 owned after | $0.00 | 2013-02-07 | |
| 2013-01-31 | Hine C Clarkson Officer (SVP Corp Comm & Public Affairs) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,891 0 owned after | $0.00 | 2013-02-04 |